- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity...dealer is highly desirable. + Familiarity with US legal and regulatory requirements applicable to non-U.S. financial institutions… more
- Citigroup (New York, NY)
- …alongside others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief ... of the Legal Entity Governance team supporting the following US Legal Entities: Citigroup Global Markets Holdings Inc., Citigroup Financial Products Inc.,… more
- Morgan Stanley (New York, NY)
- …Group (ISG) segment > Serve as the primary Treasury liaison with internal broker - dealer leadership teams and external regulators (SEC, FINRA, CFTC, NFA) on ... and creditors. About us: Morgan Stanley is a leading global financial services firm providing a wide range of...our work environment and culture You will: > Assume Legal Entity Treasurer role for several of the firm's… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... requirements and other ad hoc investigations. + Work with Global Advisory team and other legal entities...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Citigroup (New York, NY)
- …of derivatives products and associated legal documentation. + Knowledge of broker dealer regulatory requirements is preferred. + Experience in transactional ... The Regulatory Advisory and Transformation legal group is a global team...and security based swap dealers; + advising on US broker dealer regulations; + providing regular and… more
- Citigroup (New York, NY)
- …preparing and filing the monthly FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is compliant with the ... The role is in the Broker Dealer Regulatory Reporting Department, which...data, including by preparing and recording financial transactions for legal vehicle and regulatory reporting purposes, updating the general… more
- Insight Global (New York, NY)
- …https://insightglobal.com/workforce-privacy-policy/ . Skills and Requirements Bachelor's Degree Knowledge of broker - dealer related SEC and FINRA rules A strong ... requests, special projects, and regulatory exams directed by management, compliance, or legal departments. We are a company committed to creating diverse and… more
- Morgan Stanley (Purchase, NY)
- …and/or in-house experience, preferably with a financial services firm (including a bank, broker - dealer or private equity fund). > Experience with capital markets ... Company Profile: Morgan Stanley is a leading global financial services firm providing a wide range...of 1934, and associated FINRA rules). > Experience on broker - dealer /FINRA matters a plus, along with related… more
- US Bank (New York, NY)
- …Inc., a registered broker - dealer . The candidate must ensure that the broker - dealer is adequately protected against legal , risk, and other operational ... seeking an experienced paralegal to join the Capital Markets Legal Team to support the Global Capital...Capital Markets Legal Team to support the Global Capital Markets group within US Bank's Wealth, Corporate,… more
- Morgan Stanley (New York, NY)
- …open trading floor environment * 1-2 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm * JD required *_Vice ... and employees. The Institutional Equity Division (IED) is a global leader in the origination, distribution and trading of...environment * 4 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm *… more
- Mizuho Corporate Bank (New York, NY)
- …and assumption development within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... insights for optimizing the balance sheet and liquidity across various legal entities and business units Qualifications + Professional Experience: strong background… more
- SMBC (New York, NY)
- …Security, Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko ( broker dealer ), and Corporate Services. In particular: + Serving ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Sumitomo Mitsui Banking Corporation (SMBC) will work within the Legal Department, reporting to the Executive Director and Head… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... driven winning team, committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and Markets (GBM) is a… more
- JPMorgan Chase (New York, NY)
- …+ Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among ... The Global Fixed Income, Currency and Commodities team (GFICC)...facilitates the comparison of ideas across sectors and geographies. Global Fixed Income, Currency and Commodities manages a broad… more
- Morgan Stanley (New York, NY)
- …origination or credit underwriting experience in a Private Banking or Broker - Dealer platform required. Formal credit training preferred. *Working knowledge ... Morgan Stanley is a global financial services leader with three core businesses...clients and prospects. * Partner with Lending Product Groups, Legal , WM Risk and Credit Risk Management ("CRM") to… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint. + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... is one of the fast-growing practices in Deloitte. Within our Regulatory and Legal Services, our specialized teams center around advanced solutions to test and… more
- Tradeweb (New York, NY)
- …an understanding of the associated risks and regulatory landscape, specific FinTech / Broker Dealer experience a plus + Professional certifications such as ... for the annual Audit Plan; and helping to supervise and develop a growing global Internal Audit team. **Job Responsibilities** + Assist the Head of Internal Audit in… more